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Are Your SOX 404 Processes Working? The Top 10 SOX Best Practices

Duration :

Course Description:

This practical webinar focuses on the top ten best practices that can be used to enhance your current SOX 404 program or to implement the requirement for a new public company. This webinar will also provide insight and guidance for existing control programs for private companies.

The Sarbanes-Oxley Act of 2002 makes company executives of publicly traded U.S. companies personally responsible not only for the accuracy of their company's financial statements and disclosures, but also for reporting on the effectiveness of its internal controls. Complying with the requirements of the Act can seem like an overwhelming task, but this entertaining and informative webinar will walk you through the latest requirements quickly and easily.

Why should you Attend?

Learn from a SOX expert who was recruited to assist MCI (previously) WorldCom to lead the company's SOX program and implement an internal controls program in an environment lacking controls.

Section 404 requires annual report by management on the design and effectiveness of internal controls over financial reporting, and an attestation by the company's auditors as to the accuracy of management's assessment.

  • Evaluate and test internal controls over financial reporting using COSO to opine on effectiveness (broad and deep).
  • Assessment must be based on procedures sufficient to evaluate design and test operating effectiveness. Inquiry alone will not provide adequate basis for assessment.
  • Significant support is required from operations and controller organizations as up to 70% of key controls can be outside of financial reporting.

Areas Covered:

  • Review of Sections 302 and 404 of the Act and their Impact
  • The Three Critical Corporate Controls
  • The Top Ten Best Practices
  • Accountability and Disclosures of Signing Officers and Co certification
  • Getting Started: Establishing the Scope of the Project
  • Setting Priorities: Identifying Key Business Risks and Processes
  • Establishing Roles and Responsibilities
  • Implementing Reporting and Re mediation
  • The Management Evaluation Process
  • Documentation Requirements
  • The Future of SOX and Compliance
  • The COSO Integrated Framework Update
  • How do I embed the requirement of SOX into my company's DNA?
  • The Pros and Cons of Continuous Controls Monitoring (CCM)
  • Case Study

Who will benefit?

  • Accountants,
  • Financial Managers,
  • Managers required to co-certify,
  • Financial Controllers,
  • Company Executives, and anyone involved in the SOX compliance and internal controls programs.

Registration Options

Avail 12 months unlimited access for a single user.

Material shipped within 15 days post webinar completion & get life time access for unlimited participants.

Speaker Details

Chris Doxey

Chris Doxey

BFSI Expert

Chris has held senior finance and controller positions at Digital Equipment Corporation, Compaq Computer Corporation, Hewlett Packard, MCI, APEX Analytix, and BSI Healthcare. She has a bachelor's degree in English, a bachelor's in accounting, a master's in business administration, and a graduate certificate in project management.  As a management consultant, Chris uses her foundation of experience to provide best practices and solutions to her clients in the areas of compliance,

Refund Policy

Participants/Registrants for our live events, may cancel up to 72 hours prior to the start of the live session and ComplianceTrain will issue a letter of credit to be used towards any of ComplianceTrain's future events. The letter of credit will be valid for 12 months.

ComplianceTrain will process refund in cases where the event has been cancelled and is not rescheduled within 90 days from the original scheduled date of the webinar. In case if a live webinar is cancelled, participants/registrants may choose between recorded version of the course or a refund. Refunds will not be processed to participants who do not show up for the webinar. A webinar may be cancelled due to unavoidable circumstances, participants will be notified 24 hours before the scheduled start of the event. Contact us via email: